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Former SEC-registered adviser

E•••••• C••••••

Former SEC-registered adviserSan Jose, CaliforniaCRD 297681SEC 801-114060IAPD
Legal name E•••••• C•••••• G•••• H••••••• L••
Latest filing Apr 30, 2020
First filing on the tape Aug 29, 2018 · 4 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$100M gross assets
History
4 filings and snapshots on the tape
RAUM$100M as of Mar 27, 2020
Mar 27, 2019$239M then
HNW client RAUM: $116M
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20190 then
Employees (5.A)7 as of Mar 27, 2020
Mar 27, 20198 then
Private funds2 as of Mar 27, 2020
Mar 27, 20192 then
RAUM -58% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$33.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$100M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$100M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$100M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• T••••••••• C•••••• M••••••••• L•Hedge Fund$35.2M2Aug 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• A•••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 06/2009 · owns less than 5%
      • A•••••••• D••••• · Management Committee Membercontrol
        since 05/2006 · owns less than 5%
      • C••• I••••• · Management Committee Membercontrol
        since 04/2006 · owns less than 5%
      • J••••• A••• · Chief Executive Officercontrol
        since 05/2006 · owns 75% or more
      • S••••••••• R•••• · Management Committee Membercontrol
        since 04/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D••••• F••••• J•••••••• E•••••• P•••••••• L•••
        investment adviserpooled vehicle sponsorn
      • D••••• F••••• J•••••••• E•••••• V••••••••• G•••
        pooled vehicle sponsorn
      • E•••••• A••••••• P•••••• L••••••
        investment advisern
      • E•••••• C•••••• A••••••• U• I••
        investment advisern
      • E•••••• C•••••• L••••••
        investment advisern
      • E•••••• T••••••••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsory
      • E•••••• V••••••• I•• L••
        investment adviserpooled vehicle sponsorn
      • E•••••• V••••••• I••••••••• G•••• ••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Mar 27, 2019 to Mar 27, 2020
      • Advisory employees · 6 to 5
        Mar 27, 2019 to Mar 27, 2020
      • Advisory activities · 2 to 1
        Mar 27, 2019 to Mar 27, 2020
      • HNW clients · 1.0 to unset
        Mar 27, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 4 to 3
        Mar 27, 2019 to Mar 27, 2020
      • Assets in custody · $239M to $100M
        Mar 27, 2019 to Mar 27, 2020
      • Employees · 8 to 7
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $239M to $100M
        Mar 27, 2019 to Mar 27, 2020
      • HNW RAUM · 116074557.0 to unset
        Mar 27, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $123M to $100M
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $239M to $100M
        Mar 27, 2019 to Mar 27, 2020
      • Accounts · 4 to 5
        Aug 29, 2018 to Mar 27, 2019
      • Advisory employees · 7 to 6
        Aug 29, 2018 to Mar 27, 2019
      • Assets in custody · $156M to $239M
        Aug 29, 2018 to Mar 27, 2019
      • Employees · 9 to 8
        Aug 29, 2018 to Mar 27, 2019
      • Legal name · E•••••• C•••••• GROUP HOLDINGS, LTD to E•••••• C•••••• G•••• H••••••• L••
        Aug 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $156M to $239M
        Aug 29, 2018 to Mar 27, 2019
      • HNW RAUM · $0 to $116M
        Aug 29, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $156M to $123M
        Aug 29, 2018 to Mar 27, 2019
      • RAUM · $156M to $239M
        Aug 29, 2018 to Mar 27, 2019
      Signals
      2 dated events
      • E•••••• C•••••• reported RAUM $100.3M, down 58% from $238.9M (2019-03-27 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • E•••••• C•••••• filed its initial SEC registration (Form ADV)
        Aug 29, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026